Trade Surveillance & Market Compliance for Financial Institutions 2018 is a course dedicated to practical insights of trade surveillance and market compliance.
Topics
- Operational efficiency and how it can enable real-time monitoring
- How the need and demand for trade surveillance is evolving in a world of regulation
- Understanding how surveillance is part of the bigger picture and how it fits with the rest of the organisation
- How to correctly collect and use your data and the compliance issues surrounding it
- Considering the effects of insider trading and low priced securities fraud
Who should Attend
Attendees with job titles such as:
- Governance
- Head of market compliance
- Trade floor supervision
- Head of traders
- Trade monitoring
- Trader
- Head of monitoring
- Head of market surveillance
- Finance and capital markets
- Regulatory monitoring manager
- Securities
- Risk officer/ analyst/ manager
